Senior Compliance Officer CEE

Vontobel Asset Management, Inc.; Zürich; Hybrid; CHF 120,000 - 170,000; Full time

Benefits offered by this job

Zurich location with facilities

Free lunch

Open-office environment

Modern technology stack

Agile working culture

Flat hierarchy

Job summary

Vontobel Asset Management, Inc. is seeking a Senior Compliance Officer for the Client Lifecycle Compliance team in Zurich. The role focuses on onboarding and ongoing reviews for Central and Eastern European clients, including high-risk and PEP-related assessments.

You will advise Relationship Managers and partner with control functions to uphold AML and regulatory standards. The candidate should have a university degree with compliance certifications, 5+ years of Swiss private banking

Qualifications

• University degree and compliance related certifications.
• 5+ years of experience in Swiss private banking covering client onboarding and reviews for Central and Eastern European clients.
• Strong stakeholder management and collaboration skills.
• Fluent in English and German; knowledge of Russian, Ukrainian or other Slavic languages would be an advantage.
• Affinity for Artificial Intelligence (AI) and a willingness to embrace AI-enabled tools and ways of working.

Responsibilities

• Independently handling complex client cases and performing quality assurance reviews within the Lifecycle Compliance CEE team.
• Ensuring Compliance oversight throughout the entire client lifecycle for Central and Eastern European clients, including onboarding, periodic reviews, event-driven reviews and ad-hoc client assessments.
• Conducting risk-based Compliance assessments for client onboardings, including KYC, due diligence, sanctions screening, adverse media reviews and reputational risk assessments.
• Performing Compliance assessments related to periodic and event-driven client reviews, with a focus on PEPs, high-risk clients, sanctions-related matters and other sensitive client relationships.
• Acting as Subject Matter Expert for Central and Eastern European markets, advising first-line stakeholders, providing second-line expertise and collaborating with control functions on compliance, AML, sanctions, regulatory, reputational risk and client lifecycle matters.
• Independently challenging risk assessments and escalating material compliance concerns where appropriate.
• Preparing Compliance assessments and case presentations for senior management and governance committees.
• Monitoring and assessing high-risk and restricted transactions on an ex-ante basis.
• Conducting internal controls, quality assurance reviews and monitoring activities to ensure adherence to regulatory requirements and internal policies.

Skills

Stakeholder management

English fluent

German fluent

AI affinity

Education

University degree

Compliance certifications

Job description

We are looking for a talented Senior Compliance Officer to join our Client Lifecycle Compliance Department embedded within the Legal and Compliance Function of Bank Vontobel in Zurich.
Vontobel is a Switzerland-based international investment management firm offering investment solutions and advice to private and institutional clients across 27 global locations. As a family-owned business listed on the SIX Swiss Exchange, the bank maintains entrepreneurial independence, social responsibility and a client-focused, investment-led approach.

What would your role be?

• You will be part of the Onboarding and Review Team covering private clients from Central and Eastern Europe with an increased risk as well as Politically Exposed Persons (PEPs).
• You will act as a close advisor to the Relationship Managers in matters related to AML and compliance.
• Provide compliance related training to the first line of defence and act as a trusted stakeholder with other departments of the bank representing compliance.

In this role, your main duties and responsibilities include the following tasks:

• Independently handling complex client cases and performing quality assurance reviews within the Lifecycle Compliance CEE team.
• Ensuring Compliance oversight throughout the entire client lifecycle for Central and Eastern European clients, including onboarding, periodic reviews, event-driven reviews and ad-hoc client assessments.
• Conducting risk-based Compliance assessments for client onboardings, including KYC, due diligence, sanctions screening, adverse media reviews and reputational risk assessments.
• Performing Compliance assessments related to periodic and event-driven client reviews, with a particular focus on politically exposed persons (PEPs), high-risk clients, sanctions-related matters and other sensitive client relationships.
• Acting as Subject Matter Expert for Central and Eastern European markets, advising first-line stakeholders, providing second-line expertise and collaborating with relevant control functions on compliance, AML, sanctions, regulatory, reputational risk and client lifecycle-related matters.
• Independently challenging risk assessments and escalating material compliance concerns where appropriate.
• Preparing Compliance assessments and case presentations for senior management and governance committees to facilitate decision-making on high-risk and complex client relationships.
• Monitoring and assessing high-risk and restricted transactions on an ex-ante basis.
• Conducting internal controls, quality assurance reviews and monitoring activities to ensure adherence to regulatory requirements and internal policies.

What are we looking for?

• University degree and compliance related certifications.
• At least 5 years of experience in Swiss private banking covering client onboarding and reviews for Central and Eastern European clients.
• Strong stakeholder management and collaboration skills.
• Eloquent and capable of analyzing, summarizing and presenting information succinctly, both in writing and verbally.
• Fluent in English and German; knowledge of Russian, Ukrainian or other Slavic languages would be an advantage.
• Affinity for Artificial Intelligence (AI) and a willingness to embrace AI-enabled tools and ways of working.

What do we offer?

• Top Zurich location with collaboration spaces and free lunch.
• Friendly, diverse team in an open-office space.
• All the latest technology to help you excel and advance.
• Agile environment in how we think, the way we work and our trust for each other.
• Flat hierarchy with collaboration at all levels.
• Campus feeling and a collaborative spirit.

Location Requirement

This role is based in Zurich but will move to Baar in 2030, ensuring close alignment with key stakeholders in the business.

Why Vontobel?

At Vontobel, you are building better futures for our clients and society, as well as for yourself. As a family-owned and publicly listed company with over 2,000 professionals based in 28 locations globally and headquartered in Zurich, we’re committed to long-term thinking and sustainability.

Our diverse team values unique perspectives, and we hire individuals determined to deliver in a dynamic and changing world.